Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 10
-- March 06, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 2295
1.1 Notices 2295
1.1.1 Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP 2295
1.1.2 Notice of Correction – Royal Oak Ventures Inc. 2296
1.1.3 Recognition of Certain Exchanges for the Purposes of NI 23-103 Electronic Trading and Direct Electronic Access to Marketplaces – Notice of Commission Order 2296
1.2 Notices of Hearing 2297
1.2.1 Joe Dwek - ss. 127, 127.1 2297
1.2.2 David De Gouveia - ss. 127(1), 127(10) 2301
1.2.3 Keith MacDonald Summers et al. - ss. 127, 127.1 2304
1.3 News Releases 2308
1.4 Notices from the Office of the Secretary 2309
1.4.1 Weizhen Tang 2309
1.4.2 Oversea Chinese Fund Limited Partnership et al. 2309
1.4.3 Sino-Forest Corporation et al. 2310
1.4.4 Joe Dwek 2311
1.4.5 Ground Wealth Inc. et al. 2311
1.4.6 David De Gouveia 2312
1.4.7 Global RESP Corporation and Global Growth Assets Inc. 2312
1.4.8 Joe Dwek 2313
1.4.9 Keith MacDonald Summers et al. 2313
Chapter 2 Decisions, Orders and Rulings 2315
2.1 Decisions 2315
2.1.1 REBgold Corporation - s. 1(10)(a)(ii) 2315
2.1.2 Novus Energy Inc. - s. 1(10)(a)(ii) 2316
2.1.3 Coastal Energy Company - s. 1(10)(a)(ii) 2317
2.1.4 e3m Investments Inc. 2318
2.1.5 Forge First Asset Management Inc. et al. 2320
2.1.6 Brookfield Infrastructure Partners L.P. 2325
2.1.7 American Resource Corporation Limited - s. 1(10)(a)(ii) 2334
2.2 Orders 2334
2.2.1 Weizhen Tang - ss. 127(1), 127(10) 2335
2.2.2 Oversea Chinese Fund Limited Partnership et al. - ss. 127(7) and (8) 2336
2.2.3 Sino-Forest Corporation et al. 2338
2.2.4 Knowledge First Financial Inc. - ss. 144, 147 2342
2.2.5 Joe Dwek - ss. 127(1), 127(2), 127.1 2352
2.2.6 Caribbean Diversified Investments, Inc. - s. 144 2354
2.2.7 Bourse de Montréal Inc. and TSX Venture Exchange Inc. - ss. 4.6(3)(c), 4.6(5)(c) of NI 23-103 Electronic Trading and Direct Electronic Access to Marketplaces 2357
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 2359
3.1 OSC Decisions, Orders and Rulings 2359
3.1.1 Joe Dwek 2359
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 2367
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2367
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2367
4.2.2 Outstanding Management & Insider Cease Trading Orders 2367
Chapter 5 Rules and Policies 2369
5.1.1 Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 2369
5.1.2 Amendments to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations 2371
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 2375
Chapter 8 Notice of Exempt Financings 2563
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 2563
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2571
Chapter 12 Registrations 2579
12.1.1 Registrants 2579
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 2581