Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 36, Issue 8
-- February 20, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 1793
1.1 Notices 1793
1.1.1 Notice of Correction - Irwin Boock et al. 1793
1.1.2 OSC Staff Notice 13-704 - Applications for Participation Fee Relief for Certain Small Registered Firms and Reporting Issuers 1794
1.1.3 Global Privacy Management Trust and Robert Cranston 1798
1.2 Notices of Hearing (nil)
1.3 News Releases 1799
1.3.1 OSC to Provide Fee Relief for Certain Small Market Participants 1799
1.4 Notices from the Office of the Secretary 1800
1.4.1 Ernst & Young LLP (Audits of Zungui Haixi Corporation) 1800
1.4.2 Global Privacy Management Trust and Robert Cranston 1800
1.4.3 North American Financial Group Inc. et al. 1801
1.4.4 Frederick Lawrence Marlatt, also known as Frederick Lawrence Mitschele and Michael Wallace Minor 1801
1.4.5 Portfolio Capital Inc. et al. 1802
Chapter 2 Decisions, Orders and Rulings 1803
2.1 Decisions 1803
2.1.1 Edgefront Realty Corp. - s. 1(10)(a)(ii) 1803
2.1.2 Rockgate Capital Corp. - s. 1(10)(a)(ii) 1804
2.1.3 Plazacorp Retail Properties Ltd. - s. 1(10) 1805
2.1.4 First Uranium Corporation - s. 1(10)(a)(ii) 1806
2.1.5 Schneider Electric S.A. 1807
2.1.6 RBC Capital Trust II - s. 1(10)(a)(ii) 1813
2.2 Orders 1814
2.2.1 Edgefront Realty Corp. 1814
2.2.2 Irwin Boock et al. - s. 127 and 127.1 1815
2.2.3 Ernst & Young LLP (Audits of Zungui Haixi Corporation) - s. 127 and 127.1 1817
2.2.4 Canadian Derivatives Clearing Corporation - Fifth Variation to the Temporary Exemption Order - s. 144 1818
2.2.5 First Uranium Corporation - s. 1(6) of the OBCA 1819
2.2.6 North American Financial Group Inc. et al. - ss. 127)7), 127(8) 1820
2.2.7 Frederick Lawrence Marlatt, also known as Frederick Lawrence Mitschele and Michael Wallace Minor - ss. 127(1), 127(10) 1821
2.2.8 Portfolio Capital Inc. et al. 1822
2.2.9 Celestica Inc. - s. 104(2)(c) 1825
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions, Orders and Rulings (nil)
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 1831
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1831
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1831
4.2.2 Outstanding Management & Insider Cease Trading Orders 1831
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 1833
Chapter 8 Notice of Exempt Financings 1967
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 1967
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1975
Chapter 12 Registrations 1979
12.1.1 Registrants 1979
Chapter 13 SROs, Marketplaces, and Clearing Agencies 1981
13.1 SROs 1981
13.1.1 IIROC - Notice of Withdrawal - Amendments Respecting Trading in US OTC Issuers 1981
13.1.2 IIROC - Notice of Withdrawal - Proposed Financial Planning Rule 1982
13.1.3 IIROC - Notice of Withdrawal - Revisions to the Definition of “Securities Related Activities” 1983
13.1.4 IIROC - OSC Staff Notice of Request for Comment - Proposed Plain Language Rule 9600- Compliance Fees 1984
13.2 Marketplaces (nil)
13.3 Clearing Agencies 1985
13.3.1 Canadian Derivatives Clearing Corporation - Notice of Commission Order - Variation to the Temporary Exemption Order - s. 144 1985
13.3.2 OSC Notice and Request for Comment - Canadian Derivatives Clearing Corporation (CDCC) - Application for Recognition as a Clearing Agency 1986
13.3.3 OSC Notice and Request for Comment - LCH.Clearnet LLC - Application for Exemption from Recognition as a Clearing Agency 2038
Chapter 25 Other Information 2049
25.1 Approvals 2049
25.1.1 Higgins Investment Group Inc. - s. 213(3)(b) of the LTCA 2049
Index 2051