Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 36, Issue 13
-- March 27, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 3029
1.1 Notices 3029
1.1.1 The Investment Funds Practitioner - March 2014 3029
1.1.2 Notice of Memorandum of Understanding Concerning Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Covered Entities 3034
1.2 Notices of Hearing 3045
1.2.1 Ground Wealth Inc. et al. - ss. 127, 127.1 3045
1.2.2 Bank Leumi Le Israel B.M. - s. 127 3046
1.2.3 James Barnett (also known as John David) - ss. 127, 127.1 3048
1.2.4 Alka Singh and Mine2Capital Inc. - s. 127(1) 3051
1.3 News Releases 3053
1.3.1 OSC Proposes Four New Capital Raising Prospectus Exemptions 3053
1.3.2 Backgrounder - Exempt Market Review 3055
1.4 Notices from the Office of the Secretary 3057
1.4.1 Ronald James Ovenden et al. 3057
1.4.2 Ground Wealth Inc. et al. 3057
1.4.3 David De Gouveia 3058
1.4.4 Bank Leumi Le Israel B.M. 3058
1.4.5 James Barnett (also known as John David) 3059
1.4.6 Bank Leumi Le Israel B.M. 3059
1.4.7 Keith MacDonald Summers et al. 3060
1.4.8 Alka Singh and Mine2Capital Inc. 3060
1.4.9 Ground Wealth Inc. et al. 3061
1.4.10 Ground Wealth Inc. et al. 3061
Chapter 2 Decisions, Orders and Rulings 3063
2.1 Decisions 3063
2.1.1 Ontario Power Generation Inc. 3063
2.1.2 Cardiocomm Solutions, Inc. et al. 3065
2.1.3 Veresen Inc. 3073
2.1.4 Acquisition Glacier II Inc. - s. 1(10) 3075
2.1.5 SCORE Trust - s. 1(10) 3076
2.1.6 Uranium One Inc. 3077
2.1.7 Melcor Real Estate Investment Trust 3079
2.1.8 Paladin Labs Inc. - s. 1(10)(a)(ii) 3084
2.2 Orders 3085
2.2.1 Ronald James Ovenden et al. - Rule 9.1(2) of the OSC Rules of Procedure 3085
2.2.2 David De Gouveia - ss. 127(1), 127(10) 3086
2.2.3 BlackRock Institutional Trust Company, N.A. and BlackRock Asset Management Canada Limited - s. 80 of the CFA 3087
2.2.4 Bank Leumi Le Israel B.M. - s. 127 3092
2.2.5 Ground Wealth Inc. et al. 3096
2.2.6 Ground Wealth Inc. et al. 3102
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 3103
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3103
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3103
4.2.2 Outstanding Management & Insider Cease Trading Orders 3103
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments 3105
6.1.1 Implementation of Stage 3 of Point of Sale Disclosure for Mutual Funds - Point of Sale Delivery of Fund Facts - Proposed Amendments to NI 81-101 Mutual Fund Prospectus Disclosure and Companion Policy 81 101CP 3105
Chapter 7 Insider Reporting 3153
Chapter 8 Notice of Exempt Financings 3313
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 3313
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 3319
Chapter 12 Registrations 3325
12.1.1 Registrants 3325
Chapter 13 SROs, Marketplaces, and Clearing Agencies 3327
13.1 SROs 3327
13.1.1 IIROC - OSC Staff Notice of Request for Comment - Amendments to Universal Market Integrity Rule 1.1 - Definition of Basis Order 3327
13.1.2 Canadian Investor Protection Fund - Amendments to CIPF By-law No. 1 - Notice of Commission Approval 3328
13.2 Marketplaces 3329
13.2.1 CX2 Canada ATS - Notice of Proposed Changes and Request for Comment - CX2 Canada Odd Lot Trading Facility 3329
13.3 Clearing Agencies 3331
13.3.1 Notice of Effective Date - Technical Amendments to CDS Procedures - Housekeeping Changes - April 2014 3331
Chapter 25 Other Information 3333
25.1 Approvals 3333
25.1.1 Purpose Investments Inc. - s. 213(3)(b) 3333
Index 3335