Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 04
-- January 23, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 957
1.1 Notices 957
1.1.1 Notice of Agreement among Provincial and Territorial Securities Regulatory Authorities Transferring and Assigning 957
1.1.2 Notice of Correction - OSC Announces Agenda for Roundtable to Discuss Canada’s Proxy Voting Infrastructure 972
1.2 Notices of Hearing 973
1.2.1 Sterling Grace & Co. Ltd. and Graziana Casale - s. 8(3) 973
1.3 News Releases 974
1.3.1 CSA Seek Comment on Derivatives Model Rule for Customer Clearing and Protection of Customer Collateral and Positions 974
1.3.2 OSC Proposes Rule Amendments Regarding Disclosure of Women on Boards and in Senior Management 976
1.3.3 OSC Requests Members for Small and Medium Enterprises Committee 978
1.3.4 Canadian Securities Regulators Propose Changes to the Prospectus-Exempt Distribution of Short-Term Debt and Short-Term Securitized Products 979
1.4 Notices from the Office of the Secretary 981
1.4.1 Irwin Boock et al. 981
1.4.2 Sterling Grace & Co. Ltd. and Graziana Casale 981
1.4.3 Ground Wealth Inc. et al. 982
1.4.4 A25 Gold Producers Corp. et al. 982
1.4.5 Frederick Lawrence Marlatt, also known as Frederick Lawrence Mitschele and Michael Wallace Minor 983
1.4.6 Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus 983
Chapter 2 Decisions, Orders and Rulings 985
2.1 Decisions 985
2.1.1 CI Investments Inc. 985
2.1.2 Counsel Portfolio Services Inc. and Brigata Diversified Portfolio 987
2.1.3 Catchmark Timber Trust, Inc. 988
2.1.4 Man Investments Canada Corp. et al. 990
2.1.5 BBS Securities Inc. 995
2.1.6 New Dawn Mining Corp. - s. 1(10)(a)(ii) 1002
2.2 Orders 1003
2.2.1 Global AutoTrading Inc. and Jimmy Talbot - s. 74(1) 1003
2.2.2 Irwin Boock et al. - ss. 127, 127.1 1006
2.2.3 Ground Wealth Inc. et al. 1008
2.2.4 NWQ Investment Management Company, LLC - s. 80 of the CFA 1013
2.2.5 A25 Gold Producers Corp. et al. 1021
2.2.6 Frederick Lawrence Marlatt, also known as Frederick Lawrence Mitschele and Michael Wallace Minor - ss. 127(1), 127(10) 1021
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 1023
3.1 OSC Decisions, Orders and Rulings 1023
3.1.1 Irwin Boock et al. - ss. 127, 127.1 1023
3.1.2 Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus 1035
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 1041
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1041
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1041
4.2.2 Outstanding Management & Insider Cease Trading Orders 1041
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments 1043
6.1.1 Proposed Amendments to NI 45-106 Prospectus and Registration Exemptions Relating to the Short-term Debt Prospectus Exemption and Proposed Securitized Products Amendments 1043
Chapter 7 Insider Reporting 1083
Chapter 8 Notice of Exempt Financings 1175
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 1175
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1181
Chapter 12 Registrations 1187
12.1.1 Registrants 1187
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 1189
25.1 Approvals 1189
25.1.1 Claret Asset Management Corporation - s. 213(3)(b) of the LTCA 1189
Index 1191