Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 2
-- January 9, 2013 --


Table of Contents
Chapter 1 Notices / News Releases 401
1.1 Notices 401
1.1.1 CSA Staff Notice 31-336 - Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitablility Obligations 401
1.1.2 CSA Staff Notice 13-315 (Revised) - Securities Regulatory Authority Closed Dates 2014 419
1.1.3 CSA Staff Notice 13-319 - SEDAR Filer Manual Update 420
1.1.4 OSC Staff Notice 11-739 (Revised) - Policy Reformulation Table of Concordance and List of New Instruments 421
1.1.5 CSA Staff Notice 13-322 - Service Transition Cutover Date for Information Management Services and Implementation of Related Consequential Amendments to CSA National Systems Rules 424
1.2 Notices of Hearing 426
1.2.1 Kevin Warren Zietsoff - ss. 127(1), 127.1 426
1.3 News Releases 426
1.3.1 OSC Panel Finds Andrea McCarthy, BFM Industries Inc. and Liquid Gold International Inc. in Breach of the Securities Act 426
1.3.2 OSC Approves Settlement Permanently Banning Kevin Warren Zietsoff from Ontario’s Capital Markets 427
1.4 Notices from the Office of the Secretary 428
1.4.1 Sandy Winick et al. 428
1.4.2 Kevin Warren Zietsoff 429
1.4.3 Andrea Lee McCarthy et al. 429
1.4.4 Kevin Warren Zietsoff 430
Chapter 2 Decisions, Orders and Rulings 431
2.1 Decisions 431
2.1.1 Husky Energy Inc. 431
2.1.2 Bonnett's Energy Corp. 433
2.1.3 Northwest International Healthcare Properties Real Estate Investment Trust 435
2.1.4 Barrick Gold Corporation et al. 439
2.1.5 ONE Financial Corporation 444
2.1.6 Man Investments Canada Corp. and GLG Income Opportunities Fund 448
2.1.7 BMO Nesbitt Burns Inc. et al. 454
2.1.8 BMO Nesbitt Burns Inc. et al. 459
2.1.9 BMO Investments Inc. et al. 463
2.1.10 Sun Life Global Investments (Canada) Inc. and Sun Life Schroder Emerging Markets Fund 467
2.1.11 Certain Exempt Market Dealer and Restricted Dealer Firms Listed in Schedule A 469
2.1.12 Covington Strategic Capital Fund Inc. and Covington Capital Corporation 472
2.1.13 Pacific Rim Mining Corp. 477
2.2 Orders 479
2.2.1 Metro Inc. - s. 104(2)(c) 479
2.2.2 Metro Inc. - s. 104(2)(c) 482
2.2.3 Sandy Winick et al. - ss. 127, 127.1 485
2.2.4 ICE Clear Credit LLC - s. 147 487
2.2.5 Crystallex International Corporation et al. - s. 144(1) 495
2.2.6 Andrea Lee McCarthy et al. - s. 127 498
2.2.7 Kevin Warren Zietsoff 499
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 501
3.1 OSC Decisions, Orders and Rulings 501
3.1.1 Sandy Winick et al. - ss. 127, 127.1 501
3.1.2 Andrea Lee McCarthy et al. - s. 127 510
3.1.3 Kevin Warren Zietsoff 518
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 551
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 551
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 551
4.2.2 Outstanding Management & Insider Cease Trading Orders 551
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 553
Chapter 8 Notice of Exempt Financings 713
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 713
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 723
Chapter 12 Registrations 729
12.1.1 Registrants 729
Chapter 13 SROs, Marketplaces, and Clearing Agencies 731
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies 731
13.3.1 ICE Clear Credit LLC - Notice of Commission Order - Application for Exemptive Relief 731
Chapter 25 Other Information 733
25.1.1 BKC Capital Inc. - s. 213(3)(b) of the LTCA 733
Index 735