Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 09
-- February 27, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 2055
1.1 Notices 2055
1.1.1 CSA Staff Notice 31-337- Cost Disclosure, Performance Reporting and Client Statements- Frequently Asked Questions and Additional Guidance as of February 27, 2014 2055
1.2 Notices of Hearing (nil)
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 2067
1.4.1 Quadrexx Hedge Capital Management Ltd. et al. 2067
1.4.2 Quadrexx Asset Management Inc. et al. 2067
1.4.3 Pro-Financial Asset Management Inc. 2068
1.4.4 TransCap Corporation et al. 2068
1.4.5 Sterling Grace & Co. Ltd. and Graziana Casale 2069
Chapter 2 Decisions, Orders and Rulings 2071
2.1 Decisions 2071
2.1.1 Davis-Rea Ltd. et al. 2071
2.1.2 Davis-Rea Ltd. et al. 2075
2.1.3 Channel Resources Ltd. 2078
2.1.4 CI Investments Inc. and Lawrence Park Strategic Income Fund 2079
2.1.5 Sirocco Mining Inc.- s. 1(10) 2081
2.1.6 Compagnie de Saint-Gobain 2082
2.1.7 Sun Life Global Investments (Canada) Inc. and Sun Life Investment Management Inc. 2087
2.2 Orders 2090
2.2.1 Mountainstar Gold Inc.- s. 144 2090
2.2.2 Minfocus Exploration Corp.- s. 1(11)(b) 2092
2.2.3 Quadrexx Hedge Capital Management Ltd. et al.- s. 127 2094
2.2.4 Quadrexx Asset Management Inc. et al.- ss. 127(1) and (8) 2094
2.2.5 Pro-Financial Asset Management Inc.- ss. 127(1), (2) and (8) 2097
2.2.6 TransCap Corporation et al.- ss. 127(1), 127(10) 2102
2.2.7 Apollo International Management (Canada) ULC- s. 74(1) 2105
2.2.8 Sterling Grace & Co. Ltd. and Graziana Casale- s. 8(4) 2113
2.2.9 Telus Corporation- s. 104(2)(c) 2114
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 2119
3.1 OSC Decisions, Orders and Rulings 2119
3.1.1 TransCap Corporation et al.- ss. 127(1), 127(10) 2119
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 2133
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2133
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2133
4.2.2 Outstanding Management & Insider Cease Trading Orders 2133
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 2135
Chapter 8 Notice of Exempt Financings 2277
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 2277
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2283
Chapter 12 Registrations 2291
12.1.1 Registrants 2291
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 2293