Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 01
-- January 03, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 1
1.1 Notices 1
1.1.1 Notice of Minesterial Approval of OSC Rule 91-506 Derivatives: Product Determination and OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting 1
1.2 Notices of Hearing 1
1.2.1 A25 Gold Producers Corp. et al. - ss. 127, 127.1 2
1.3 News Releases 8
1.3.1 OSC’s Investor Advisory Panel Releases Annual Report 8
1.3.2 Canadian Securities Regulators Seek Comment on Derivatives Rule Relating to Mandatory Central Counterparty Clearing 9
1.3.3 Canadian Securities Regulators Mandate OBSI’s Dispute Resolution Service for Registered Dealers and Advisers 10
1.3.4 CSA Announces Service Transition Cutover Date for Information Management Services 12
1.3.5 OSC Panel Issues Sanctions Against Kolt Curry, Laura Mateyak, American Heritage Stock Transfer Inc., and American Heritage Stock Transfer, Inc. for Breaches of the Securities Act 13
1.4 Notices from the Office of the Secretary 14
1.4.1 Pro-Financial Asset Management Inc. 14
1.4.2 Global RESP Corporation and Global Growth Assets Inc. 14
1.4.3 Ernst & Young LLP 15
1.4.4 Blackwood & Rose Inc. et al. 15
1.4.5 Vincent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation) 16
1.4.6 International Strategic Investments et al. 16
1.4.7 Global Energy Group, Ltd. et al. 17
1.4.8 A25 Gold Producers Corp. et al. 17
1.4.9 Northern Securities Inc. et al. 18
1.4.10 Kolt Curry et al. 18
1.4.11 Moncasa Capital Corporation and John Frederick Collins 19
Chapter 2 Decisions, Orders and Rulings 21
2.1 Decisions 21
2.1.1 ESI Entertainment Systems Inc. - s. 1(10(a)(ii) 21
2.1.2 Dundee Industrial Limited Partnership 22
2.1.3 DIR Industrial Properties Inc. 26
2.1.4 Starlight U.S. Multi-Family (No. 2) Core Fund 31
2.1.5 Gazit-Globe Ltd. 33
2.1.6 Stay Gold Inc. 36
2.1.7 1832 Asset Management L.P. 39
2.1.8 Raymond James & Associates, Inc. 43
2.1.9 Gazit-Globe Ltd. 51
2.1.10 Brandes Investment Partners & Co. 56
2.1.11 Nylcap Canada Genpar Inc. 60
2.1.12 University of Toronto Asset Management Corporation 62
2.1.13 Ewing Morris & Co. Investment Partners Ltd. and Ewing Morris Opportunities Trust Fund 64
2.1.14 TD Waterhouse Canada Inc. and Broadridge Investor Communications Corporation 69
2.1.15 CIBC Asset Management Inc. et al. 74
2.1.16 Enbridge Gas Distribution Inc. et al. 78
2.2 Orders 81
2.2.1 Trapeze Asset Management Inc. et al. - s. 144 81
2.2.2 Pro-Financial Asset Management Inc. - ss. 127(1), (2) and (8) 84
2.2.3 Global RESP Corporation and Global Growth Assets Inc. - s. 127(1) 89
2.2.4 Knowledge First Financial Inc. - ss. 144,147 91
2.2.5 Ernst & Young LLP 98
2.2.6 Vincent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation) - ss. 127, 127.1 99
2.2.7 International Strategic Investments et al. 100
2.2.8 Pyramis Global Advisors, LLC et al. - ss. 78(1), 80 of the CFA 103
2.2.9 Pyramis Global Advisors, LLC et al. - ss. 78(1), 80 of the CFA 108
2.2.10 Pyramis Global Advisors, LLC et al. - ss. 78(1), 80 of the CFA 113
2.2.11 Pyramis Global Advisors, LLC et al. - ss. 78(1), 80 of the CFA 118
2.2.12 Global Energy Group, Ltd. et al. - ss. 127(7), 127(8) 123
2.2.13 Kolt Curry et al. - ss. 37, 127, 127.1 128
2.2.14 Moncasa Capital Corporation and John Frederick Collins - ss. 37, 127, 127.1 131
2.2.15 Inova Resources Limited - s. 1(10)(a)(ii) 132
2.2.16 BNY Mellon Asset Management Canada Ltd. and Standish Mellon Asset Management Company LLC - s. 80 of the CFA 134
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 139
3.1 OSC Decisions, Orders and Rulings 139
3.1.1 Blackwood & Rose Inc. et al. - s. 127 139
3.1.2 Vincent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation) 150
3.1.3 Northern Securities Inc. et al. - ss. 8(3), 21.7 161
3.1.4 Kolt Curry et al. - ss. 37, 127, 127.1 220
3.1.5 Moncasa Capital Corporation and John Frederick Collins 229
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 241
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 241
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 241
4.2.2 Outstanding Management & Insider Cease Trading Orders 241
Chapter 5 Rules and Policies 243
5.1.1 OSC Rule 91-506 Derivatives:Product Determination 243
5.1.2 OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting 245
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 275
Chapter 8 Notice of Exempt Financings 385
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 385
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 389
Chapter 12 Registrations 395
12.1.1 Registrants 395
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 (nil)
Index 397