Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 34, Issue 38
-- September 23, 2011 --


Table of Contents


Chapter 1 Notices / News Releases 9741
1.1 Notices 9741
1.1.1 Current Proceedings Before The Ontario Securities Commission 9741
1.1.2 OSC Staff Notice 33-736 – 2011 Annual Summary Report for Dealers, Advisers and Investment Fund Managers 9750
1.1.3 Alexander Christ Doulis et al. – Notice of Correction 9751
1.2 Notices of Hearing 9751
1.2.1 Zungui Haixi Corporation – ss. 127(7), 127(8) 9751
1.3 News Releases 9752
1.3.1 Saverio Manzo Settles with the Ontario Securities Commission 9752
1.4 Notices from the Office of the Secretary 9753
1.4.1 Bernard Boily 9753
1.4.2 Anthony Ianno and Saverio Manzo 9753
1.4.3 Anthony Ianno and Saverio Manzo 9754
1.4.4 Ian Overton 9754
1.4.5 Canadian Derivatives Clearing Corporation and Sino-Forest Corporation et al. 9755
1.4.6 Richvale Resource Corporation et al. 9755
1.4.7 Normand Gauthier et al. 9758
1.4.8 Zungui Haixi Corporation 9759
1.4.9 Maitland Capital Ltd. et al. 9759
1.4.10 Peter Beck et al. 9760
1.4.11 Sextant Capital Management Inc. et al. 9760
1.4.12 Zungui Haixi Corporation 9761
Chapter 2 Decisions, Orders and Rulings 9763
2.1 Decisions 9763
2.1.1 GrowthWorks Canadian Fund Ltd. and GrowthWorks Ltd. 9763
2.1.2 Royal Canadian Mint 9765
2.1.3 Fidelity Investments Canada ULC 9769
2.1.4 RBC Global Asset Management Inc. 9772
2.1.5 Bellair Ventures Inc. 9776
2.1.6 SQI Diagnostics Inc. 9781
2.1.7 Bridgewater Systems Corporation – s. 1(10) 9784
2.1.8 RBC Global Asset Management Inc. 9785
2.1.9 CIBC Asset Management Inc. 9792
2.1.10 CIBC Asset Management Inc. 9795
2.1.11 Fortis Inc. et al. 9799
2.1.12 Goodman & Company, Investment Counsel Ltd. et al. 9801
2.2 Orders 9804
2.2.1 Bernard Boily – Pre-Hearing Conference – Rule 6.7 9804
2.2.2 Anthony Ianno and Saverio Manzo 9805
2.2.3 Anthony Ianno and Saverio Manzo 9807
2.2.4 Ian Overton – ss. 127(1), 127.1 9808
2.2.5 Canadian Derivatives Clearing Corporation and Sino-Forest Corporation et al. – s. 144 9810
2.2.6 Normand Gauthier et al. – s. 127 9812
2.2.7 Zungui Haixi Corporation – ss. 127(1), 127(5) 9815
2.2.8 Outlook Resources Inc. – s. 144 9817
2.2.9 Maitland Capital Ltd. et al. – s. 127 9821
2.2.10 FundSERV Inc. – s. 144 9823
2.2.11 Peter Beck et al. 9825
2.2.12 Petroflow Energy Ltd. – s. 144 9827
2.2.13 Alexander Christ Doulis et al. – s. 127 9830
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 9833
3.1 OSC Decisions, Orders and Rulings 9833
3.1.1 Anthony Ianno and Saverio Manzo 9833
3.1.2 Ian Overton 9839
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 9845
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9845
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9845
4.2.2 Outstanding Management & Insider Cease Trading Orders 9845
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9847
Chapter 8 Notice of Exempt Financings 9927
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 9927
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9933
Chapter 12 Registrations 9939
12.1.1 Registrants 9939
Chapter 13 SROs, Marketplaces, and Clearing Agencies 9941
13.1 SROs (nil)
13.2 Marketplaces 9941
13.2.1 Alpha ATS LP – Notice of Proposed Changes and Request for Feedback – New DAO Order Designations, Elimination of All or None Order, and Changes to Mixed Lot Order Handling 9941
13.3 Clearing Agencies 9944
13.3.1 FundSERV Inc. – Notice of Commission Order – Application for Variation and Restatement of FundSERV’s Interim Order 9944
Chapter 25 Other Information 9945
25.1 Approvals 9945
25.1.1 Leon Frazer & Associates Inc. – s. 213(3)(b) of the LTCA 9945
Index 9947