Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 18
-- May 01, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 4429
1.1 Notices 4429
1.1.1 Agreement among Provincial and Territorial Securities Regulatory Authorities Transferring and assigning Trade-Mark to the Alberta Securities Commission 4429
1.1.2 CSA Staff Notice 31-338 - Guidance on Dispute Resolution Services - Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization 4430
1.1.3 OSC Staff Notice 11-739 (Revised) - Policy Reformulation Table of Concordance and List of New Instruments 4436
1.2 Notices of Hearing 4436
1.2.1 Paul Lester Stiles - ss. 127(1), 127(10) 4438
1.2.2 Won Sang Shen Cho, also known as Craig Cho, doing business as Chosen Media and Groops Media - ss. 127(1), 127(10) 4442
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 4446
1.4.1 Heritage Education Funds Inc. 4446
1.4.2 Global RESP Corporation and Global Growth Assets Inc. 4446
1.4.3 Matthew Schloen 4447
1.4.4 Paul Lester Stiles 4447
1.4.5 Ronald James Ovenden et al. 4448
1.4.6 Ronald James Ovenden et al. 4448
1.4.7 Won Sang Shen Cho, also known as Craig Cho, doing business as Chosen Media and Groops Media 4449
1.4.8 David De Gouveia 4449
Chapter 2 Decisions, Orders and Rulings 4451
2.1 Decisions 4451
2.1.1 IPC Investment Corporation and Independent Planning Group Inc. 4451
2.1.2 HHT Investments Inc. - s. 1(10) 4453
2.1.3 JDS Uniphase Canada Ltd. - s. 1(10) 4454
2.1.4 Vinci S.A. 4455
2.1.5 Industrial Alliance Securities Inc. and MGI Securities Inc. 4460
2.1.6 Industrial Alliance Securities Inc. and MGI Securities Inc. 4463
2.1.7 Creso Exploration Inc. - s. 1(10)(a)(ii) 4466
2.2 Orders 4467
2.2.1 Heritage Education Funds Inc. 4467
2.2.2 Global RESP Corporation and Global Growth Assets Inc. - s. 127(1) 4469
2.2.3 Witwatersrand Consolidated Gold Resources Inc. - s. 1(10)(a)(ii) 4472
2.2.4 Matthew Schloen 4473
2.2.5 Ronald James Ovenden et al. 4473
2.2.6 Ronald James Ovenden et al. 4475
2.2.7 Canadian Pacific Railway Limited- s. 104(2)(c) 4476
2.2.8 David De Gouveia - ss. 127(1), 127(10) 4480
2.2.9 Principal Global Investors, LLC and Integra Capital Limited - s. 80 of the CFA 4481
2.2.10 LCH.ClearNet LLC - s. 147 4485
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 4493
3.1 OSC Decisions, Orders and Rulings 4493
3.1.1 Ronald James Ovenden et al. 4493
3.1.2 David De Gouveia - ss. 127(1), 127(10) 4501
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 4507
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4507
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4507
4.2.2 Outstanding Management & Insider Cease Trading Orders 4507
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 4509
Chapter 8 Notice of Exempt Financings 4577
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 4577
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4585
Chapter 12 Registrations 4595
12.1.1 Registrants 4595
Chapter 13 SROs, Marketplaces, and Clearing Agencies 4597
13.1 SROs 4597
13.2 Marketplaces 4597
13.2.1 TSX Inc - OSC Staff Notice of Proposed Changes and Request for Comment - Form 21-101F1 - Mixed Lot and Odd Lot Volumes 4597
13.2.2 TSX Inc - OSC Staff Notice of Proposed Changes and Request for Comment - Form 21-101F1 - Mixed Lot and Odd Lot Volumes 4597
13.2.3 TSX Inc. - OSC Staff Notice of Proposed Changes and Request for Comment - Form 21-101F1 - Dark Midpoint Orders 4598
13.3 Clearing Agencies 4600
13.3.1 LCH.Clearnet LLC - Notice of Commission Order - Application for Exemptive Relief 4600
Chapter 25 Other Information (nil)
Index 4601