Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 24
-- June 12, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 5549
1.1 Notices 5549
1.1.1 CSA Notice 11-327 Extension of Consultation Period Proposed National Policy 25-201 Guidance for Proxy Advisory Firms 5549
1.1.2 Notice of Ministerial Approval of the Exchange of Letters with the Superintendencia de Valores y Seguros of Chile 5550
1.2 Notices of Hearing 5551
1.2.1 Capital Markets Technologies, Inc. ss. 127(1), 127(10) 5551
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 5555
1.4.1 Keith MacDonald Summers et al. 5555
1.4.2 Paul Azeff et al. 5555
1.4.3 Tricoastal Capital Partners LLC et al. 5556
1.4.4 MRS Sciences Inc (formerly Morningside Capital Corp.) et al. 5556
1.4.5 Capital Markets Technologies, Inc. 5557
1.4.6 B&A Fertilizers Limited 5557
1.4.7 Portfolio Capital Inc. et al. 5558
1.4.8 Ground Wealth Inc. et al. 5558
1.4.9 Heritage Education Funds Inc. 5559
1.4.10 Andrea Lee McCarthy et al. 5559
Chapter 2 Decisions, Orders and Rulings 5561
2.1 Decisions 5561
2.1.1 Viterra Inc. and Glencore PLC 5561
2.1.2 Rutter Inc. s. 1(10) 5569
2.1.3 McVicar Industries Inc. s. 1(10) 5570
2.1.4 1810040 Alberta Ltd. 5571
2.1.5 Mega Brands Inc. 5574
2.1.6 Coastal Contacts Inc. s. 1(10)(a)(ii) 5576
2.1.7 Portfolio Strategies Securities Inc. and the Funds Listed in Schedule A 5577
2.1.8 GWR Global Water Resources Corp. 5579
2.1.9 Suncor Energy Inc. 5582
2.2 Orders 5584
2.2.1 Keith MacDonald Summers et al. s. 127 5584
2.2.2 Paul Azeff et al. 5584
2.2.3 Tricoastal Capital Partners LLC et al. ss. 127(1), 127(8) 5586
2.2.4 Gryphon Gold Corporation et al. s. 144(1) 5587
2.2.5 MRS Sciences Inc (formerly Morningside Capital Corp.) et al. 5589
2.2.6 Tranzeo Wireless Technologies Inc. s. 144 5592
2.2.7 Portfolio Capital Inc. et al. 5593
2.2.8 Ground Wealth Inc. et al. Rule 1.5.3(3) of the OSC Rules of Procedure 5597
2.2.9 Heritage Education Funds Inc. 5604
2.2.10 Boost Capital Corp. s. 144 5606
2.2.11 Andrea Lee McCarthy et al. s. 127(1) 5608
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 5611
3.1 OSC Decisions, Orders and Rulings 5611
3.1.1 MRS Sciences Inc (formerly Morningside Capital Corp.) et al. 5611
3.1.2 Andrea Lee McCarthy et al. ss. 127, 127.1 5639
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 5651
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5651
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5651
4.2.2 Outstanding Management & Insider Cease Trading Orders 5651
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 5653
Chapter 8 Notice of Exempt Financings 5755
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 5755
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5757
Chapter 12 Registrations 5767
12.1.1 Registrants 5767
Chapter 13 SROs, Marketplaces, and Clearing Agencies 5769
13.1 SROs 5769
13.1.1 OSC Staff Notice of Request for Comment IIROC Margin requirements for debt security obligations of supranational entities Amendments to Dealer Member Rule 100.2(a)(ii) 5769
13.1.2 OSC Staff Notice of Request for Comment Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) 5770
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
Chapter 25 Other Information 5771
25.1.1 Aston Hill Capital Markets Inc. and Euro Banc Capital Securities Trust 5771
Index 5773