Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 17
-- April 24, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 4095
1.1 Notices (nil)
1.2 Notices of Hearing (nil)
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 4095
1.4.1 Practice Guideline for French Hearings and Consolidation of the Rules of Procedure of the Ontario Securities Commission as of April 8, 2014 4095
1.4.2 Restated Notice from the Office of the Secretary Re: Interim Orders, Prehearing Conferences and Interlocutory Motions 4097
1.4.3 Issam El-Bouji et al. 4099
1.4.4 Morgan Dragon Development Corp. et al. 4099
1.4.5 Issam El-Bouji et al. 4100
1.4.6 Matthew Schloen 4100
1.4.7 Quadrexx Hedge Capital Management Ltd. et al. 4101
1.4.8 Quadrexx Asset Management Inc. et al. 4101
Chapter 2 Decisions, Orders and Rulings 4103
2.1 Decisions 4103
2.1.1 Nord Gold N.V. 4103
2.1.2 Newfoundland Capital Corporation Limited 4106
2.1.3 LDIC Inc. and LDIC North American Energy Infrastructure Fund 4109
2.1.4 Moss Lake Gold Mines Ltd. 4110
2.2 Orders 4112
2.2.1 Issam El-Bouji et al. - ss. 127(1), 127(2), and 127.1 4112
2.2.2 Morgan Dragon Development Corp. et al. 4115
2.2.3 Wolf Resource Development Corp. - s. 1(11)(b) 4116
2.2.4 Issam El-Bouji et al. - s. 127 4117
2.2.5 Matthew Schloen - ss. 127(1), 127(2) and 127.1 4118
2.2.6 Quadrexx Hedge Capital Management Ltd. - s. 127 4120
2.2.7 iShares MSCI Europe IMI Index ETF and iShares MSCI Europe IMI Index ETF (CAD-Hedged) - s. 1.1 4121
2.2.8 Quadrexx Asset Management Inc. et al. - ss. 127(1) and 127(8) 4122
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 4125
3.1 OSC Decisions, Orders and Rulings 4125
3.1.1 Issam El-Bouji et al. 4125
3.1.2 Morgan Dragon Development Corp. et al. - s. 127 4141
3.1.3 Matthew Schloen 4157
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 4163
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4163
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4163
4.2.2 Outstanding Management & Insider Cease Trading Orders 4163
Chapter 5 Rules and Policies 4165
5.1.1 Practice Guideline - April 8, 2014 - Ontario Securities Commission Practice Guideline for French Hearings 4165
5.1.2 Ontario Securities Commission Rules of Procedure (Amendment and Consolidation as of April 8, 2014) 4168
Chapter 6 Request for Comments 4197
6.1.1 CSA Notice and Request for Comment - Proposed Amendments to NI 21-101 Marketplace Operation and NI 23-101 Trading Rules 4197
6.1.2 CSA Notice and Request for Comment - Proposed NP 25-201 Guidance for Proxy Advisory Firms 4339
Chapter 7 Insider Reporting 4349
Chapter 8 Notice of Exempt Financings 4411
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 4411
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4415
Chapter 12 Registrations 4421
12.1.1 Registrants 4421
Chapter 13 SROs, Marketplaces, and Clearing Agencies 4423
13.1 SROs 4423
13.1.1 OSC Staff Notice of Request for Comment -IIROC - Proposed Personal Financial Dealing Amendments 4423
13.1.2 OSC Staff Notice of Request for Comment - IIROC - Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2 4424
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
Chapter 25 Other Information 4425
25.1 Permissions 4425
25.1.1 Matthew Lippa and SFS Holding AG 4425
Index 4427